Defendant Name:
James L. Hertz
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of James L. Hertz
First Document Date
07-Jul-2011
Initial Filing Format
Administrative Action
File Number
3-14455
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Former: Vice President at J.P. Morgan Securities LLC (1994—December 2007)
- Former: Marketer of Investment Agreements and Other Municipal Finance Contracts at J.P. Morgan Securities LLC (1994—December 2007)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
First Resolution Date
